Who is eligible to apply?In general, applicants who have the ability and capacity to conduct scientifically valid research are eligible to apply. Eligible applicants include, but are not limited to, non-profit and for-profit organizations and public and private agencies and institutions, such as colleges and universities. Please see specific eligibility requirements in the Request for Applications, under section 8, entitled "Eligible Applicants." Note, the Small Business Innovation Research (SBIR) program has a different eligibility definition established by the Small Business Administration. To be eligible to apply for an SBIR award, an entity must be a "small business concern" as defined below: A concern that, on the date of award for both Phase I and Phase II funding agreements: 1. is organized for profit, with a place of business located in the United States, which operates primarily within the United States or which makes a significant contribution to the United States economy through payment of taxes or use of American products, materials or labor; 2. is in the legal form of an individual proprietorship, partnership, limited liability company, corporation, joint venture, association, trust or cooperative, except that where the form is a joint venture (as defined in this section) there can be no more than 49 percent participation by foreign business entities in the joint venture; 3. is at least 51 percent owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States; and 4. has, including its affiliates, not more than 500 employees. TOP

Can an award be made to an individual?Yes, as long as the individual has the necessary ability and capacity to conduct rigorous scientific research. TOP

Can a foreign organization/institution apply for an Institute award? Research supported through Institute programs MUST be relevant to education in the U.S. and useful for the purposes of the U.S. Department of Education. Unless stated otherwise in a Request for Applications, a foreign organization/institution may apply for a grant. TOP

Whom should I contact when seeking guidance on proposal preparation?When responding to a specific Request for Applications, an applicant should contact the applicable Program Officer listed in the Request for Applications for technical assistance on proposal preparation. TOP

Where can I find guidance on proposal preparation?Information on proposal preparation specific to a particular research competition is described in the Request for Applications, which are available on the Institute's website http://www.ed.gov/programs/edresearch/applicant.html. The ED/IES standard forms and the application submission instructions are provided at the following website: https://ies.constellagroup.com. For general information about ED grants, interested applicants can refer to the Grantmaking at Ed guide at the following website: http://www.ed.gov/fund/grant/about/grantmaking/index.html. Please note that instructions in the Request for Applications can modify general guidance in the What Should I Know about ED Grants manual. The cognizant program officer should be consulted with questions regarding compliance with specific programmatic requirements. Specific guidance on the administration of ED Grants can also be found at: http://www.ed.gov/policy/fund/reg/edgarReg/edgar.html.TOP

Where can I find information on the types of documents required to be completed and submitted to the Institute in order for the Institute to conduct the necessary administrative and financial reviews of the organization?All the application requirements are outlined in the Request for Applications and the application forms. The information requested in the application materials will enable the Institute to conduct an administrative and financial review of the organization. Application forms and instructions for the electronic submission of applications are available at: https://ies.constellagroup.com. For general information about ED grants, interested applicants should consult the What Should I Know About ED Grants? guide at the following website: http://www.ed.gov/fund/grant/about/knowabtgrants/index.html. TOP

How do I submit a proposal to the Institute?Applications must be submitted electronically via the PRIMO online system using the ED standard forms and the instructions provided at the following website: https://ies.constellagroup.com. The application form approved for this program is OMB Number 1890-0009. The application form approved for the SBIR program is OMB Number 1890-0012. TOP

Am I required to use the PRIMO online system to prepare and submit my proposal to the Institute?All proposals to the Institute must be submitted electronically via the IES-Constella Group PRIMO system. There is no available alternative for submission of the proposal. General information regarding the use of the PRIMO system can be found at: https://ies.constellagroup.com. TOP

Where should questions be directed on the use of the IES-Constella Group PRIMO system?Questions related to the use of the Constella Group PRIMO system may be directed to the Constella Group PRIMO system Help Desk at 301-493-0006, Monday-Friday 9am -5pm (EST). If technical problems are experienced at any time during the submission process, please contact the Help Desk by clicking on the Contact Technical Support link at the bottom of the screen at the IES-Constella PRIMO website (https://ies.constellagroup.com), by clicking "HELP" at the upper right-hand corner of the screen at the IES-Constella PRIMO website, or by calling 301-493-0006. The Help Desk operates Monday through Friday 9AM to 5PM. Please note that the Help Desk will have extended hours during the final week of each submission deadline. All questions will be answered within 1 business day. TOP

Can I use any other electronic method to transmit my proposal to the Institute?The Institute does not accept proposals that are submitted by any other electronic method including electronic submission through the U.S. Department of Education's online application system. The electronic submission must be transmitted through the PRIMO system available at the IES-Constella Group website: https://ies.constellagroup.com.TOP

Does the Institute require proposals to be signed electronically?All proposals to the Institute are required to be validated by the Authorized Representative (AR). Please make sure to allow sufficient time for the AR to complete the submission process prior to the deadline. Only your institution's AR (or his or her designee) can finalize the submission process on behalf of your institution. Applications must be submitted electronically by 8:00 p.m. Eastern time on the application receipt date, using the ED standard forms and the instructions provided at the following web site: https://ies.constellagroup.com. Application forms and instructions for the electronic submission of applications will be available no later than December 9, 2003. Potential applicants should check this site for information about the electronic submission procedures that must be followed and the software that will be required. TOP

What if I have other questions related to electronic submission of my proposal?There is a prepared list of FAQs specifically addressing electronic submission on the IES-Constella Group website at https://ies.constellagroup.com/index.cfm?fuseaction=publich.help_faq. If the answer to your question is not listed there or you need further clarification, please contact the IES-Constella Group PRIMO System Help Desk at 301-493-0006, Monday-Friday 9am -5pm (EST). TOP

Where do I find information on the proposal margin and spacing requirements that need to be followed when preparing an application?Formatting requirements are described in the Request for Applications in the section entitled, "Contents and Page Limits of Application." TOP

Can applicants submit proposals that contain high-resolution graphics or other color representations?No. For cost and technical reasons, the Institute cannot, at this time, reproduce proposals containing high-resolution graphics or color representations.TOP

May Universal Resource Locators (URLs) be included within the Research Narrative?Applicants are advised that the research narrative must be self-contained and are cautioned that URLs (Internet addresses) that provide information necessary to the review of the proposal should not be used because reviewers are under no obligation to view such sites.TOP

Must the Data Universal Numbering System (DUNS) number be included on Form ED 424? Where can I find my organization's DUNS number?The DUNS number must be included on form ED 424. If the applicant's organization does not have a DUNS number, Dun and Bradstreet Information Services should be contacted at 800-333-0505 to obtain one. TOP

What information should be included in the Reference List section of the proposal?Most Institute Requests for Applications require reference information (see section 12, Contents and Page Limits of Application). Each reference must include the names of all authors (in the same sequence in which they appear in the publication), the article and journal title, book title, volume number, page numbers, and year of publication. If the document is available electronically, the website address should also be identified. Applicants must be especially careful to follow accepted scholarly practices in providing citations for source materials relied upon when preparing any section of the proposal. Although there is no established page limit for the references, this section must include bibliographic citations only and must not be used to provide parenthetical information outside of the 20-page research narrative. TOP

What is the Institute policy on submission of appendices?Applications may generally include two appendices. However, the applicant should read carefully the requirements described in the specific Request for Applications to which the applicant is responding. Please see the section entitled, "Contents and Page Limits of Application" for the subsections on appendices. Note, the Small Business Innovation Research instructions allow for only one appendix, per the SBIR Policy Directive, and this is limited to an enumeration of previously awarded Phase II awards. TOP

Who should be listed as key personnel?Key personnel includes individuals who have a direct bearing on the outcome of the project, who have substantive responsibility for developing or achieving the scope or objectives of the project, and who possess the reputation, knowledge, or skills on which the work of the project is based. TOP

How is the term Principal Investigator defined?The Principal Investigator (PI) is the individual designated by the grantee and approved by the Institute who will be responsible for the scientific or technical direction of the project. Applicants may choose to have Co-Investigators who together have responsibility for the direction of the project; however, one investigator must be chosen to be the official PI for the project. Note: The grant application website and ED forms use the term Project Director. The Institute uses the term Principal Investigator. TOP

What is the Request for Applications number?The request for applications number is an Institute generated number that appears at the top of each Request for Applications. It is listed just after the release date of the Request for Applications and is unique to a given Institute grant competition. This number should be used when contacting Institute staff or Constella Group for information about a competition. TOP

What is the definition of percent effort?The term percent effort refers to the effort (amount of time) that Principal Investigator and other senior personnel will devote to a specific project. The effort is based on the organization's regular academic-year, summer or calendar-year.TOP

What is the definition of a submission deadline?A submission deadline is the designated point in time by which proposals must be submitted for review by the Institute. Submission deadlines are published in each Request for Applications. Unless otherwise stated, proposals must be received by the specified date and time indicated. Inquiries about timing of submissions may be made to the cognizant Institute Program Officer.TOP

If I include a subcontract in my proposal, should the budget from the subcontractor be included in the proposal? What documentation is needed for subcontracts?Detailed, itemized budgets for subcontracted work should be submitted with the applicant's proposal, along with a clear description of the work to be performed and the basis for selecting the subcontractor.TOP

What should I do if my university or organization does not have a negotiated indirect cost rate?An applicant without a negotiated indirect cost rate with any federal agency needs to have an indirect cost rate established with the U.S. Department of Education when applying for/receiving grants. If the indirect cost rate is not already established, the applicant may include in the application a statement expressing that the organization would like to establish a negotiated rate.TOP

Can an organization submit a grant proposal without a negotiated indirect cost rate, and if so, what indirect cost rate should be used in the grant proposal budget?An applicant without a negotiated indirect cost rate at the time of application, may submit in the application, either a percentage rate or a dollar amount for indirect costs. This should be done with the understanding that a negotiated rate will be determined later and applied retroactively to the grant. A successful applicant that does not have a negotiated indirect cost rate in place at the time of award will not be able to recoup indirect costs until a negotiated cost rate is established. For more information on the indirect cost rate, applicants may refer to the following website: http://www.ed.gov/about/offices/list/ocfo/fipao/icgindex.html. TOP

What is ED policy on the use of human subjects for research?The U.S. Department of Education's regulations for the protection of human subjects (Education Department General Administrative Regulations, 34 CFR, Part 97), require that each institution engaged in projects involving research with human subjects must ensure that subjects are protected from research risks. All projects involving human subjects must have an approved Assurance of Compliance form on file and provide Certification that the Institutional Review Board (IRB) designated in the Assurance has reviewed and approved the proposed research activities before they are initiated. For additional information about the protection of human subjects in research, consult the Department of Education's Protection of Human Subjects in Research website at: http://www.ed.gov/about/offices/list/ocfo/humansub.html.TOP

What information must a grant applicant provide at the application stage regarding research activities involving human subjects?Item 12 of the Application for Federal Education Assistance (ED 424) addresses human subjects research. Every applicant is required to indicate whether or not research activities involving human subjects are planned at any time during the project period. If human subject research activities are planned, the applicant must indicate if these activities are exempt or covered (non-exempt) and provide detailed information about the covered research activities. If the activities are covered and the applicant has an Assurance, the Department of Education requests that the applicant provide the Assurance number on the ED 424 form. TOP

Is an applicant required to have an Assurance or an IRB Certification in place at the time of application?No. Neither an applicable Assurance nor an IRB approval needs to be in existence as a condition for applying to the Institute for an award. If an applicant does not have Assurance at the time of application, the applicant will be contacted by an ED official if it is determined that the application or proposal is likely to receive an award. The applicant will be requested to comply with the paperwork requirements prior to receiving an award and within the time frame specified in the formal request from ED. The applicant will be required to submit a Single Project Assurance (SPA) to ED, designating in the Assurance the IRB that has the authority to review the covered research activities. The Institution can have its own IRB or can borrow the IRB of an institution that has a Multiple Project Assurance (MPA). Grant applicants with a current MPA on file with the Office for Human Research Protection, Department of Health and Human Services, that covers the specific research activity, are instructed to identify the MPA number at the time of application on the ED 424. If an applicant is an independent investigator (i.e., an investigator with no institutional affiliation), ED will request that the independent investigator, if likely to receive an award, enter into a signed agreement with a local institution that has an IRB to borrow that institution's IRB. (ED negotiates assurances with institutions, not with individuals. The institution, in turn, accepts responsibility for the project and files an Assurance with ED, or identifies a current MPA.) TOP

What should be done when other institutions in addition to the applicant's institution will be engaged in the research activities?Each legally separate institution must have an Assurance and submit to ED a Certification of IRB review and approval prior to the initiation of nonexempt (covered) research activities by its institution. It is the responsibility of the applicant/proposing institution to ensure that each institution has an Assurance approved by ED and submits the IRB Certifications in a timely manner.TOP

Can the same proposal submitted to the Institute be submitted to other agencies for simultaneous review?Generally, the Institute does not restrict applicants from submitting a proposal that is under review by the Institute to other agencies. TOP

Can the same proposal be submitted to multiple Institute grant competitions being held at the same time?No. Applicants are required to submit a proposed study to only one competition. However, a Principal Investigator (or organization) can submit to more than one competition IF different studies are proposed for each competition.TOP